Alpaca Securities LLC: Brokercheck Report

BrokerCheck Report
ALPACA SECURITIES LLC

CRD# 288202
Section Title Page(s)

Report Summary 1
Firm Profile 2-5
Firm History 6
Firm Operations 7 - 14
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ALPACA SECURITIES LLC Report Summary for this Firm

CRD# 288202
SEC# 8-69928 This report summary provides an overview of the brokerage firm. Additional information for this firm can be found
in the detailed report.
Main Office Location Firm Profile Disclosure Events
3 EAST THIRD AVENUE This firm is classified as a limited liability company.
SUITE 214 This firm was formed in Delaware on 03/15/2017. Brokerage firms are required to disclose certain
SAN MATEO, CA 94401
Its fiscal year ends in November. criminal matters, regulatory actions, civil judicial
Regulated by FINRA San Francisco Office
proceedings and financial matters in which the firm or
Mailing Address Firm History one of its control affiliates has been involved.
P.O. BOX 6221 Information relating to the brokerage firm's history
HAYWARD, CA 94540 Are there events disclosed about this firm? No
such as other business names and successions
(e.g., mergers, acquisitions) can be found in the
Business Telephone Number
detailed report.
650 489-2017
Firm Operations
This firm is registered with:
• the SEC
• 1 Self-Regulatory Organization
• 52 U.S. states and territories
Is this brokerage firm currently suspended with any

regulator? No
This firm conducts 6 types of businesses.

This firm is not affiliated with any financial or
investment institutions.
This firm has referral or financial arrangements with
other brokers or dealers.
©2022 FINRA. All rights reserved. Report about ALPACA SECURITIES LLC 1
Firm Profile
This firm is classified as a limited liability company.
This firm was formed in Delaware on 03/15/2017.
Its fiscal year ends in November.
Firm Names and Locations

This section provides the brokerage firm's full legal name, "Doing Business As" name, business and mailing
addresses, telephone number, and any alternate name by which the firm conducts business and where such name is
used.
ALPACA SECURITIES LLC

Doing business as ALPACA SECURITIES LLC
CRD# 288202
SEC# 8-69928
Main Office Location

3 EAST THIRD AVENUE
SUITE 214
SAN MATEO, CA 94401
Regulated by FINRA San Francisco Office
Mailing Address
P.O. BOX 6221
HAYWARD, CA 94540
Business Telephone Number

650 489-2017
Firm Profile
This section provides information relating to all direct owners and executive officers of the brokerage firm.
Direct Owners and Executive Officers

Legal Name & CRD# (if any): ALPACADB, INC.
Is this a domestic or foreign Domestic Entity
entity or an individual?
Position SOLE MEMBER

Position Start Date 03/2017
Percentage of Ownership 75% or more
Does this owner direct the Yes
management or policies of
the firm?
Is this a public reporting No

company?
Legal Name & CRD# (if any): DEVINE, DAVID MATTHEW

2841335
Is this a domestic or foreign Individual
Position CHIEF RISK OFFICER

Percentage of Ownership Less than 5%
the firm?

company?
Legal Name & CRD# (if any): MCCORMACK, BRIAN ANDREW

1600487
Position CHIEF COMPLIANCE OFFICER

Firm Profile
Direct Owners and Executive Officers (continued)
the firm?

company?
Legal Name & CRD# (if any): MCCORMACK, BRIAN ANDREW

1600487
Position CHIEF AML OFFICER

the firm?

company?
Legal Name & CRD# (if any): STEFFEL, DENISE KATHLEEN

2336519
Position PRESIDENT, COO

the firm?

company?
Firm Profile
This section provides information relating to any indirect owners of the brokerage firm.
Indirect Owners
No information reported.
Firm History
This section provides information relating to any successions (e.g., mergers, acquisitions) involving the firm.
No information reported.
Firm Operations
Registrations
This section provides information about the regulators (Securities and Exchange Commission (SEC), self-regulatory
organizations (SROs), and U.S. states and territories) with which the brokerage firm is currently registered and
licensed, the date the license became effective, and certain information about the firm's SEC registration.
This firm is currently registered with the SEC, 1 SRO and 52 U.S. states and territories.
Federal Regulator Status Date Effective
SEC Approved 03/26/2018
SEC Registration Questions

This firm is registered with the SEC as:
A broker-dealer: Yes
A broker-dealer and government securities broker or dealer: No
A government securities broker or dealer only: No
This firm has ceased activity as a government securities broker or dealer: No
Self-Regulatory Organization Status Date Effective

FINRA Approved 03/26/2018
Firm Operations
Registrations (continued)
U.S. States & Status Date Effective U.S. States & Status Date Effective
Territories Territories
Alabama Approved 08/02/2018 North Carolina Approved 07/03/2018
Alaska Approved 07/05/2018 North Dakota Approved 07/25/2018
Arizona Approved 07/09/2018 Ohio Approved 07/06/2018
Arkansas Approved 06/29/2018 Oklahoma Approved 06/29/2018
California Approved 03/30/2018 Oregon Approved 05/29/2018
Colorado Approved 07/19/2018 Pennsylvania Approved 06/28/2018
Connecticut Approved 06/19/2018 Puerto Rico Approved 04/08/2020
Delaware Approved 06/28/2018 Rhode Island Approved 06/22/2018
District of Columbia Approved 07/10/2018 South Carolina Approved 07/10/2018
Florida Approved 05/11/2018 South Dakota Approved 06/26/2018
Georgia Approved 07/01/2018 Tennessee Approved 08/10/2018
Hawaii Approved 07/12/2018 Texas Approved 05/17/2018
Idaho Approved 06/25/2018 Utah Approved 06/26/2018
Illinois Approved 07/24/2018 Vermont Approved 07/10/2018
Indiana Approved 07/09/2018 Virginia Approved 07/06/2018
Iowa Approved 06/25/2018 Washington Approved 05/23/2018
Kansas Approved 07/30/2018 West Virginia Approved 07/31/2018
Kentucky Approved 05/29/2018 Wisconsin Approved 06/27/2018
Louisiana Approved 07/02/2018 Wyoming Approved 07/17/2018
Maine Approved 07/18/2018
Maryland Approved 07/09/2018
Massachusetts Approved 06/19/2018
Michigan Approved 07/06/2018
Minnesota Approved 06/26/2018
Mississippi Approved 06/22/2018
Missouri Approved 06/06/2018
Montana Approved 05/29/2018
Nebraska Approved 07/27/2018
Nevada Approved 04/19/2018
New Hampshire Approved 06/22/2018
New Jersey Approved 05/31/2018
New Mexico Approved 07/16/2018
New York Approved 04/23/2018
Firm Operations
Types of Business
This section provides the types of business, including non-securities business, the brokerage firm is engaged in or
expects to be engaged in.
This firm currently conducts 6 types of businesses.
Types of Business
Broker or dealer retailing corporate equity securities over-the-counter

Broker or dealer selling corporate debt securities
Put and call broker or dealer or option writer
Investment advisory services
Non-exchange member arranging for transactions in listed securities by exchange member
Other - CMA APPROVAL D, E, G, H = Z - OTHER
D = FACILITATION OF FRACTIONAL SHARES TRADING ON A PRINCIPAL BASIS
E = BROKER THAT OFFERS OR ENGAGES IN ON-LINE TRADING/ELECTRONIC TRADING
G = SECURITIES LENDING; AND
H = SECURITIES CLEARANCE AND SETTLEMENT (INCLUDES OMNIBUS CLEARING, SELF CLEARING AND
CORRESPONDENT CLEARING ACTIVITIES)
Other Types of Business

This firm does not effect transactions in commodities, commodity futures, or commodity options.
This firm does not engage in other non-securities business.
Non-Securities Business Description:
Firm Operations
Clearing Arrangements
This firm does hold or maintain funds or securities or provide clearing services for other broker-dealer(s).
Introducing Arrangements
This firm does refer or introduce customers to other brokers and dealers.
Name: VISION FINANCIAL MARKETS LLC
CRD #: 142271
Business Address: 120 LONG RIDGE RD.
3 NORTH
STAMFORD, CT 06902
Effective Date: 08/09/2021
Description: ALPACA SECURITIES LLC HAS A CLEARING AGREEMENT WITH VISION
FINANCIAL MARKETS LLC AND INTRODUCES CUSTOMERS TO VISION
FINANCIAL MARKETS LLC ON AN OMNIBUS BASIS. VISION FINANCIAL
MARKETS LLC IS THE CUSTODIAN OF CUSTOMER SECURITIES AND
ALPACA SECURITIES LLC IS THE CUSTODIAN OF CUSTOMER FUNDS.
Name: VELOX CLEARING LLC
CRD #: 290215
Business Address: 2400 E KATELLA AVE
SUITE 725
ANAHEIM, CA 92806
Description: ALPACA SECURITIES LLC HAS AN OMNIBUS CLEARING AGREEMENT
WITH VELOX CLEARING LLC AND INTRODUCES CUSTOMERS TO VELOX
CLEARING LLC ON AN OMNIBUS BASIS. VELOX CLEARING LLC IS THE
CUSTODIAN OF CUSTOMER SECURITIES AND ALPACA SECURITIES LLC
IS THE CUSTODIAN OF CUSTOMER FUNDS.
Firm Operations
Industry Arrangements
This firm does have books or records maintained by a third party.

CRD #: 142271
3 NORTH
STAMFORD, CT 06902
FINANCIAL MARKETS LLC AND IN CONNECTION WITH THAT
AGREEMENT, VISION FINANCIAL MARKETS LLC KEEPS AND MAINTAINS
CERTAIN RECORDS FOR ALPACA SECURITIES LLC.
CRD #: 290215
SUITE 725
ANAHEIM, CA 92806
Description: ALPACA SECURITIES LLC HAS A CLEARING AGREEMENT WITH VELOX
CLEARING LLC AND IN CONNECTION WITH THAT AGREEMENT, VELOX
CLEARING LLC KEEPS AND MAINTAINS CERTAIN RECORDS FOR
ALPACA SECURITIES LLC.
Name: GLOBAL RELAY
Business Address: 220 CAMBIE STREET
2ND FLOOR
VANCOUVER, BC, CANADA V6B2M9
Description: CERTAIN OF ALPACA SECURITIES LLC BOOKS AND RECORDS ARE
STORED BY GLOBAL RELAY ON ELECTRONIC STORAGE MEDIA
COMPLIANT WITH SEC RULE 17A-4. GLOBAL RELAY HAS ALSO AGREED
TO PROVIDE THIRD PARTY ACCESS TO THOSE BOOKS AND RECORDS.
Name: EGNYTE, INC
Business Address: 1350 W. MIDDLEFIELD ROAD
MOUNTAIN VIEW, CA 94043
Effective Date:
©2022 FINRA. All rights reserved. Report 03/29/2018
about ALPACA SECURITIES LLC 11
Firm Operations
Industry Arrangements (continued)
Description: CERTAIN OF ALPACA SECURITIES LLC BOOKS AND RECORDS ARE
STORED BY EGNYTE, INC ON ELECTRONIC STORAGE MEDIA
COMPLIANT WITH SEC RULE 17A-4. EGNYTE, INC HAS ALSO AGREED
TO PROVIDE THIRD PARTY ACCESS TO THOSE BOOKS AND RECORDS.
This firm does have accounts, funds, or securities maintained by a third party.
CRD #: 142271
3 NORTH
STAMFORD, CT 06902
CRD #: 290215
SUITE 725
ANAHEIM, CA 92806
This firm does have customer accounts, funds, or securities maintained by a third party.
CRD #: 142271
3 NORTH
STAMFORD, CT 06902
Firm Operations
Industry Arrangements (continued)
CRD #: 290215
ANAHEIM, CA 92806
Control Persons/Financing
This firm does not have individuals who control its management or policies through agreement.
This firm does not have individuals who wholly or partly finance the firm's business.
Firm Operations
Organization Affiliates
This section provides information on control relationships the firm has with other firms in the securities, investment
advisory, or banking business.
This firm is not, directly or indirectly:

· in control of
· controlled by
· or under common control with
the following partnerships, corporations, or other organizations engaged in the securities or investment
advisory business.
This firm is not directly or indirectly, controlled by the following:

· bank holding company
· national bank
· state member bank of the Federal Reserve System
· state non-member bank
· savings bank or association
· credit union
· or foreign bank
End of Report
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BrokerCheck Report

ALPACA SECURITIES LLC

Section Title Page(s)

Firm Profile 2-5

ALPACA SECURITIES LLC Report Summary for this Firm

Is this brokerage firm currently suspended with any

This firm conducts 6 types of businesses.

Firm Names and Locations

ALPACA SECURITIES LLC

Main Office Location

Business Telephone Number

Direct Owners and Executive Officers

Position SOLE MEMBER

Is this a public reporting No

Legal Name & CRD# (if any): DEVINE, DAVID MATTHEW

Position CHIEF RISK OFFICER

Is this a public reporting No

Legal Name & CRD# (if any): MCCORMACK, BRIAN ANDREW

Position CHIEF COMPLIANCE OFFICER

Is this a public reporting No

Legal Name & CRD# (if any): MCCORMACK, BRIAN ANDREW

Position CHIEF AML OFFICER

Is this a public reporting No

Legal Name & CRD# (if any): STEFFEL, DENISE KATHLEEN

Position PRESIDENT, COO

Is this a public reporting No

SEC Registration Questions

Self-Regulatory Organization Status Date Effective

Broker or dealer retailing corporate equity securities over-the-counter

Other Types of Business

This firm does have books or records maintained by a third party.

This firm is not, directly or indirectly:

This firm is not directly or indirectly, controlled by the following:

This page is intentionally left blank.

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